Part 240 Questions and Answers 

FRA Jurisdiction 

The Rail Safety Improvement Act of 1988, Pub. L. 100-342, ("RSIA") amended the Federal 

Railroad Safety Act of 1970, 45 U.S.C. §§ 421, 431 et seq., to provide the Federal Railroad 

Administration (FRA) broader regulatory authority over the Nation’s railroads. The term 

"railroad" as used in the Act means all forms of non-highway ground transportation that run on 

rails or electro-magnetic guideways, including (1) commuter or other short-haul rail passenger

service in a metropolitan or suburban area, as well as any commuter rail service that was 

operated by the Consolidated Rail Corporation as of January 1, 1979, and (2) high-speed ground 

transportation systems that connect metropolitan areas, without regard to whether they use new 

technologies not associated with traditional railroads. Such term does not include rapid transit 

operations within an urban area that are not connected to the general railroad system of 

transportation. For policy reasons, FRA does not exercise jurisdiction under all of its regulations 

to the full extent permitted by statute. See 49 CFR Part 209, App. A. 

Plant Railroads 

FRA’s regulations exclude from their reach railroads whose entire operations are confined to an 

industrial installation (i.e., "plant railroads"), such as those in steel mills that do not go beyond 

the plant’s boundaries. Other regulations (e.g., 49 C.F.R. §214.3, railroad workplace safety) 

exclude not only plant railroads, but also any railroad that is not operated as a part of, or over the 

lines of, the general railroad system of transportation. By "general railroad system of 

transportation," FRA refers to the network of standard gage track over which goods may be 

transported throughout the Nation and passengers may travel between cities and within 

metropolitan and suburban areas. 49 C.F.R. Part 209, App. A. Much of this network is 

interconnected, so that a rail vehicle may travel across the Nation without leaving the system. 

However, mere physical connection to the system does not bring trackage within the FRA’s 

jurisdiction. For example, trackage within an industrial installation that is connected to the 

network only by a switch for the receipt of shipments over the system is not considered to be part 

of the general railroad system of transportation. 

Even where a railroad operates outside the general system, other railroads that are part of that 

system may have occasion to enter the railroad’s property (e.g., a major railroad goes into a 

chemical or auto plant to pick up or set out cars.) In such cases, the railroad that is part of the 

general system remains part of the system while inside the installation; therefore, all of its 

activities are covered by FRA’s regulations during that period. The plant railroad itself, however, 

does not get swept into the general system by virtue of the other railroad’s activity, except to the 

extent it is liable, as the track owner, for the condition of its track over which the other railroad 

operates during its incursion into the plant. Of course, in the opposite situation, where the plant 

railroad itself operates on the general system, it becomes a railroad with respect to those 

particular operations, during which its equipment, crew, and practices would be subject to FRA’s 

regulations. 
In some cases, the plant railroad leases track immediately adjacent to its plant from the general 

system railroad. Assuming such a lease provides for, and actual practice entails, the exclusive 

use of that trackage by the plant railroad and the general system railroad for purposes of moving 

only cars shipped to or from the plant, the lease would remove the plant railroad’s operations on 

that trackage from the general system for purposes of FRA’s regulations, as it would make that 

trackage part and parcel of the industrial installation. However, the track itself would have to 

meet FRA’s standards if a general system railroad operates over it. 49 CFR Part 209, App. A. 

Q. 1 - I operate a plant railroad that is currently excluded from FRA regulations. However, a 

building within the installation has been leased to a lumberyard for purposes of receiving and 

off-loading lumber cars. Will I lose my plant railroad status if I handle cars for this new 

operation in the plant and/or on the track adjacent to the plant track that I lease from the general 

system railroad? 

Answer: Yes. The plant railroad exemption is for an operation that handles cars exclusively for 

its own operations. If a plant begins handling cars of other companies, it becomes a common 

carrier engaged in switching operations. 

Tourist, Scenic, and Excursion Railroads 

FRA exercises jurisdiction over tourist, scenic, and excursion railroad operations whether or not 

they are conducted on the general railroad system of transportation. There are two exceptions: 

(1) operations of less than 24-inch gage (which, historically, have never been considered 

railroads under the Federal railroad safety laws); and (2) operations that are off the general 

system and "insular." 

Q. 2 - What does insular mean? 

Answer: Insularity is an issue only regarding tourist operations over trackage outside of the 

general system used exclusively for such operations. FRA considers a tourist railroad to be 

insular if its operations are limited to a separate enclave in such a way that there is no reasonable 

expectation that the safety of any member of the public "except a business guest, a licensee of 

the tourist operation or an affiliated entity, or a trespasser" would be affected by the operation. 

Q. 3 - When is a tourist railroad not considered insular? 

Answer: A tourist operation will not be considered insular if one or more of the following exists 

on its line: 

• A public highway-rail crossing that is in use; 

• An at-grade rail crossing that is in use; 

• A bridge over a public road or waters used for commercial navigation; or 

• A common corridor with a railroad, i.e., its operations are within 30 feet of those of any 

railroad. 

Q. 4 - Do any of FRA’s regulations apply to insular tourist railroads? 
Answer: No. Many of FRA’s regulations do not currently apply to tourist railroads. However, 

FRA’s emergency order authority permits it to address a true safety emergency arising from 

conditions covered by those regulations or any other regulations that do not apply outside of the 

general railroad system. Thus, even off-the-general-system tourist railroads should understand 

that FRA has the jurisdiction to inspect their operations and to take emergency action if those 

operations pose an imminent hazard of death or injury. 

Q. 5 - Do any of FRA’s regulations apply to non-insular railroads? 

Answer: Yes. The following regulations and laws apply: Federal signal inspection laws, 

hazardous materials regulations, noise emission regulations, freight car safety standards, 

accident/incident reports regulations, hours of service restrictions on duty hours, steam 

locomotive inspection regulations, grade crossing signal system safety regulations, and all 

general power and enforcement provisions of the rail safety statutes (e.g., subpoena authority, 

civil penalty authority, disqualification authority, and emergency order authority). 

Q. 6 - How would a tourist railroad sever its connection to the general system? 

Answer: It depends on each particular railroad’s circumstances and operations. A railroad should 

contact FRA if it has questions about whether it is connected to the general system. 

Generally, though, a tourist railroad would be considered to be operating off the general system 

if its operation is conducted only on track used exclusively for that purpose. That a tourist 

operation has a switch that connects to the general system does not make the tourist operation 

part of the general system if the tourist trains do not enter the general system and the general 

system does not use the tourist operation’s trackage for any purpose other than delivering or 

picking up shipments to or from the tourist operation itself. 

Q. 7 - I operate a tourist railroad and have just been given permission to operate an excursion 

train on a freight railroad’s trackage as a separate business. How do I certify engineers for my 

operation? 

Answer: You have several options. 1) You may have the freight railroad’s engineers operate 

your train; 2) You may have the freight railroad certify your engineers under its program and 

issue your employees its own certificates; or 3) You may submit a certification program to FRA 

and certify your own engineers. Of course, as the freight railroad is the host railroad in these 

operations, it has a responsibility to determine that your engineers are properly certified and 

qualified to operate on its railroad. 

Certification Issues (49 CFR Part 240) Certification Program Approval 

Q. 8 - I am starting up a new railroad. Is there a specified period that my certification program 

should be submitted to FRA? 

Answer: Yes. The program should be submitted for approval at least 60 days before commencing 
operations. 240.103(a). 

Q. 9 - I filed my certification program with FRA. How do I know it has been approved? 

Answer: Your program is approved if you do not hear from the FRA within 30 days of the filing 

date. You will not be notified in writing that the program is approved. 240.103(c). 

Q. 10 - What if I materially modify my program after I submit it to FRA? 

Answer: You must resubmit the modified program at least 30 days before implementing the 

modifications. 240.103(c). 

Certification Exclusions 

Q. 11 - Are there any situations or conditions that would allow non-certified employees to 

operate a locomotive on the general system? 

Answer: Yes. The answer is found in the definitions section of the regulation under "locomotive 

engineer." See 240.7. The regulation applies to "any person who moves a locomotive or group of 

locomotives regardless of whether they are coupled to other rolling equipment except: 

(1) A person who moves a locomotive or group of locomotives within the confines of a 

locomotive repair or servicing area as provided for in 49 CFR 218.5 and 218.29(a)(1); or 

(2) A person who moves a locomotive or group of locomotives for a distance of less than 100 

feet and this incidental movement of a locomotive or group of locomotives is for inspection or 

maintenance purposes." 

Q. 12 - What do 49 CFR 218.5 and 218.29(a)(1) mean when referenced to a servicing area?

Answer: "49 CFR 218.5–Definitions" terms a locomotive servicing track area: one or more 

tracks, within an area in which the testing, servicing, repair, inspection, or rebuilding of 

locomotives is under the exclusive control of mechanical department personnel . Emphasis 

added. 

"49 CFR 218.29(a)(1)" defines the limits of the locomotive servicing area. This section of the 

regulation states, "A blue signal must be displayed at or near each switch providing entrance to 

or departure from the area." This provision of the regulation is used to define the limits of the 

locomotive servicing track area. A blue signal does not have to be actually displayed for this 

exclusion to take place. 

Note: Sliding (moving) blue signal limits are not allowed. The designated switch or derail at the 

entrance to such facilities must be permanent . This is because locomotive service area limits are 

designated in some type of instruction to the employees. These limits may not expand and 

contract at will. 
Eligibility Based on Prior Safety Conduct (240.109 and 240.225) 

Q. 13 - When I am considering a person for locomotive engineer (re)certification, what areas of 

safety conduct do I evaluate? 

Answer: You are required to evaluate the person’s: 1) prior safety conduct as a motor vehicle 

operator (240.115), 2) prior operating rules compliance (240.117), and 3) prior substance abuse 

disorders and alcohol/drug rules compliance (240.119). 

Q. 14 - I am in the process of certifying an engineer that came from another railroad. The prior 

employing railroad has not furnished me with the employee’s engineer certification records. 

What may I do? 

Answer: First, the duty to furnish this information is on the person seeking certification or 

recertification, so you should make sure that person has provided written consent to the former 

employing railroad for providing it. 240.113. Second, you may notify the other railroad that this 

is a Federal requirement and the information must be provided or you are notifying FRA. 

The primary purpose for requesting this information is to determine that the engineer is currently 

certified. While it would be better to get detailed information regarding training, testing, and 

qualifications, you may rely on less detailed written notification as long as the former employing 

railroad states that the engineer is certified. If the information is not provided, please make note 

of this in the employee’s file and notify FRA. While you may continue with your certification 

process, before issuing a certificate on your railroad, you will need to verify the prior 

certification. 

Q. 15 - When hiring an engineer from another railroad, is there any difference between utilizing 

that railroad’s certification under 240.225, as opposed to performing a recertification on the 

engineer under Section 3 of the shortline program? 

Answer: Yes. If you use the other railroad’s certification, it will not be necessary to conduct the 

motor vehicle check, nor the hearing and visual acuity exams. However, you will still be required 

to give the engineer a knowledge test (240.125), a skills performance test (240.127), and train the 

engineer on the physical characteristics of your railroad (240.123). If you use another railroad’s 

certification when issuing your own certificate, carry the expiration date on the old certificate to 

yours; by carrying over the expiration date, you will prevent an engineer from exceeding three 

years on the motor vehicle check, as well as the hearing and visual acuity exams. 

Q. 16 - When performing the employee prior safety conduct evaluation, is there a specific time 

involved? 

Answer: Yes, you may only consider incidents that occurred within a period of 36 consecutive 

months before the effective date of your certification decision. 240.117(d). 

State Department of Motor Vehicle (DMV) and National Driver Register (NDR) 

Evaluations (49 CFR 240.111 and 240.115). 
Q. 17 - Is there a specific period for evaluating an employee’s motor vehicle driving incidents? 

Answer: Yes, you may not consider driving incidents that occurred more than 36 consecutive 

months from the effective date of your certification decision. 240.115(b). 

Q. 18 - May I consider license suspensions that involve speeding? 

Answer: No. You may only consider license suspensions that result from drug and/or alcohol use 

or a refusal to test. 240.115(b). 

Q. 19 - I am having trouble getting an engineer’s motor vehicle records. May I certify an 

engineer before his motor vehicle records have been evaluated? 

Answer: No. All components of certification must be fulfilled before you may certify the 

engineer. However, if you are having problems tracking down an incident that was identified by 

the NDR in another State, you may continue with the certification process. See 49 CFR 240, 

Appendix C, under Actions When a Probable NDR Match Occurs. 

Q. 20 - Is an engineer required to report to the railroad that his/her license was suspended 

because of drugs or alcohol? 

Answer: Yes. The engineer has 48 hours to report the suspension to the railroad after the 

conviction or completed State action. 240.111(h). 

Q. 21 - Some States now suspend the motor vehicle operator’s license on the spot. Is the 

engineer in this situation required to report the suspension to the railroad at that time? 

Answer: No. Even though the State suspended the motor vehicle operator’s license, the 

suspension is a temporary measure and not a completed State action. Once the State action is 

complete, assuming the engineer is convicted, he/she must report the suspension (or conviction, 

or the equivalent) to the railroad at that time. Of course, if the engineer intends to plead guilty to 

the charge, he/she may notify the railroad ahead of time to begin the evaluation process. 

240.111(h). 

Q. 22 - Once the engineer reports the suspension to the railroad, is the railroad required to 

immediately suspend the engineer’s certificate? Is this a violation warranting a certificate 

revocation? 

Answer: The answer is "No" to both questions. The railroad is required to suspend an engineer’s 

certificate once it has reliable information that the engineer violated one of the six cardinal rules 

listed in the regulation. See 49 CFR 240.117(e). A motor vehicle license suspension is not a 

violation of any of these rules. Therefore, no certificate suspension or revocation is warranted. A 

driver’s license suspension merely indicates that the engineer may have a substance abuse 

problem. The railroad’s only obligation is to refer the engineer to an Employee Assistance 

Program (EAP) counselor for evaluation; however, this should be done within a reasonable time. 
The employee should not be left working for weeks and months without having had an EAP 

counselor evaluation . 

Q. 23 - I am hearing rumors that the NDR is not going to perform NDR searches anymore. Is this 

true? 

Answer: Yes, but this will not take effect for some time. Since all States are now participants in 

the NDR program, the NDR intends to transfer these duties to the individual States. According to 

NDR sources, the NDR plans to hold a meeting sometime in the near future to coordinate this 

transfer. Until that time, the NDR will continue to do the searches. 

Hearing and Visual Acuity Examinations (240.121, 240.207 and Part 240, app. F) 

Q. 24 - What is the railroad’s obligation regarding the hearing and visual acuity tests? 

Answer: The railroad must ensure that the person or clinic that is performing these tests has a 

copy of the test standards outlined in the regulation. The railroad may not assume that the clinic 

will use the correct standards. As a matter of fact, clinics perform many DOT commercial 

drivers’ license tests, which have different standards. These clinics may see the DOT form and 

assume that engineers get the same tests. Railroads should verify with the clinics that the correct 

tests would be performed. 

Q. 25 - If the employee fails the hearing and/or visual acuity test, is the railroad required to 

perform additional tests? 

Answer: Yes. A person not meeting the hearing and visual acuity standards, upon request, shall 

be subject to further medical evaluation. A person is entitled to one retest without making any 

showing and to another retest if the person provides evidence substantiating that circumstances 

have changed since the last test to the extent that the person could now arguably operate a 

locomotive or train safely. 240.121(e). 

Q. 26 - If an engineer fails a hearing or visual acuity test, may the engineer still be certified? 

Answer: Yes. If a railroad determines that the engineer can operate a locomotive or train safely 

without meeting the specific hearing and visual acuity standards set forth in 240.121(c) and (d), a 

railroad may still certify the engineer. 

Knowledge Tests (49 CFR 240.125 and 240.209) 

Q. 27 - Is the knowledge test that is required prior to certification the typical railroad operating 

rule test that has been given for years? 

Answer: Not quite. In addition to operating-rules questions, the test should also include questions 

on personal safety practices (safety rules), equipment inspections, Federal safety rules (any rules 

related to regulations), and train handling practices including familiarization with territorial 

physical characteristics. 
Q. 28 - If an engineer is qualified on multiple divisions, must the engineer be tested on the 

physical characteristics of each of the divisions? 

Answer: Yes. Engineers must be tested on all the territories they are currently qualified on at the 

time of the test. 

Q. 29 - May the test be conducted in workbook fashion, where the engineers may refer to a book 

to answer questions? 

Answer: No. The test must be closed book (proctored). However, if portions of the test are 

designed to test the engineer’s ability to use reference materials such as timetables, then these 

materials may be referred to. 

Performance Skill Tests (49 CFR 240.127 and 240.211) 

Q. 30 - What is the difference between a performance skills test (240.127) and an operational 

monitoring "check" ride (240.129)? 

Answer: While the criteria for both tests could be the same, i.e., the engineer is observed while 

operating a train or Type I or II simulator, the performance skills test is intended to be a more 

thorough observational test than what is required in a monitoring "check" ride. Because it is a 

more thorough test, the performance skills test is only required every three years (prior to 

certification and recertification), while the check ride is required at least once each year. 

Federal regulations require that no railroad shall permit or require a person who fails a skills test 

to operate as a locomotive or train service engineer until that person passes a skills test; 

meanwhile, failure to receive a check ride, while a violation of the regulation, does not affect an 

engineer’s certification status. 

Additionally, the skills test must be conducted in the most demanding class or type of service 

that the person will be permitted to perform while the check ride does not. 

Q. 31 - May a railroad supervisor who is not an engineer conduct a skills test? 

Answer: No. A Designated Supervisor of Locomotive Engineers (who must be an engineer) must 

conduct the test. However, please note that the supervisor does not need to be qualified on the 

physical characteristics of the territory over which the test will be conducted. 240.127(c)(2). 

Q. 32 - May the railroad use a simulator to conduct the skills test? 

Answer: Yes. 

Operational Monitoring Requirements Include Both (1) Operational Monitoring 

Observations, i.e., Check Rides, and (2) Unannounced Compliance Tests, i.e., Efficiency 

Tests (49 CFR 240.129 & 240.303) 
Q. 33 - How often is a railroad required to conduct operational monitoring check rides on each of 

its engineers? 

Answer: A minimum of one check ride per engineer is required per calendar year. 240.303. 

Please remember that while only one check ride is required per year, a railroad is not limited to 

conducting only one such ride. 

Q. 34 - May the check ride be conducted by someone who is not a DSLE? 

Answer: No. However, please note that the supervisor does not need to be qualified on the 

physical characteristics of the territory over which the ride will be conducted. 240.129(b)(2). 

Q. 35 - Must the DSLE always ride on the locomotive with an engineer to conduct a check ride? 

Answer: No. The railroad may evaluate electronically recorded data, or have the engineer 

operate a type I or II simulator to fulfill these requirements. 240.129(c) and (d). 

Q. 36 - Does the annual check ride fulfill all the requirements of monitoring the operational 

performance of engineers? 

Answer: No. Railroads shall also conduct at least one unannounced compliance test, i.e., an 

operating rule efficiency test, each calendar year. 240.303(c). 

Instead of simply observing the engineer or downloading the event recorder data (as a railroad 

would do in conducting a check ride), a properly conducted efficiency test would create a 

situation in which the engineer would need to affirmatively respond to less favorable conditions 

than those that existed prior to the initiation of a test. 240.303(d)(2). Efficiency tests shall test for 

an engineer’s response to improperly displayed signals and those types of operating rule 

violations that caused reportable accidents or incidents in the preceding year. 240.303(d)(1) and 

(3). Efficiency tests shall be conducted without prior notice and distributed throughout whatever 

portion of a 24-hour day that the railroad conducts operations. 240.303(4) and (5). 

Q. 37 - Does the regulation require that each efficiency test date be documented on the 

certificate? 

Answer: No. Section 240.223 requires the date of the person’s last operational monitoring test, 

which FRA considers to be the check ride and not the efficiency test. Admittedly, section 

240.303(d)(6) seems to indicate that efficiency testing must be recorded on the certificate, but as 

this contradicts section 240.223, FRA has decided that the regulation only requires that the 

results of efficiency tests be entered on the record established under 240.215 (i.e., the 

certification records kept for each engineer) within 30 days of the day the test is administered. It 

is also acceptable to keep this information in a railroad’s efficiency test records as long as the 

railroad may quickly conduct a thorough search and produce the records for each engineer upon 

FRA’s request. 
Q. 38 - I understand that the date of the last check ride is required to be documented on the 

certificate, but logistically the railroad may not or is having trouble adding it. Is there another 

option? 

Answer: Yes. Although, most railroads include the date on the back of the certificate, the other 

option is for the date to be kept on supplementary documents that the engineer must have in his 

or her possession while operating a locomotive. 240.223(a)(7). 

Q. 39 - If a skills test was performed during the last year of certification in preparation for 

issuing a new certificate, would this test satisfy the monitoring ride requirement for that year? 

Answer: Yes. FRA approved a provision (Section 6) for the standard shortline program that 

addresses this issue. 

Designated Supervisors of Locomotive Engineers (DSLE) (49 CFR 240.105) 

Q. 40 - Must a DSLE be an engineer? 

Answer: Yes. 

Q. 41 - Must a DSLE be qualified on the physical characteristics of a territory to administer a 

skills test or a monitoring ride? 

Answer: No. The DSLE is not piloting the engineer, the DSLE is watching the engineer operate 

the locomotive or train to determine the engineer’s compliance with the rules. 

Q. 42 - Must a DSLE be qualified on the physical characteristics to qualify an engineer over a 

particular territory? 

Answer: Yes. The DSLE must have an intimate knowledge of the territory if he/she is required to 

determine if an engineer is knowledgeable about the territory and may operate over it safely. 

240.213(b)(3). 

Q. 43 - I have a manager that is also an engineer, but he has little experience as an engineer. May 

I designate this manager as a DSLE? 

Answer: This is the railroad’s decision. However, the regulation is clear that DSLE's must be 

able to appropriately test and evaluate the knowledge and skills of locomotive engineers. They 

must also possess the necessary supervisory experience to prescribe appropriate remedial action 

for any noted deficiencies in the training, knowledge, or skills of a person seeking to obtain or 

retain certification. This implies that the DSLE must have at least the same skills as the engineers 

being supervised and preferably better. See 49 CFR 240.105. 

Q. 44 - As I have a new operation, how do I certify engineers? I do not have a DSLE to perform 

the skills test that is required prior to certification (see 49 CFR 240.127). 
Answer: The regulation allows you to certify your first engineer and designate him/her as a 

DSLE by waiving the skills test requirements one time only. However, the chief operating officer 

of the company or other individual who is responsible for the operations must make a 

determination in writing that the DSLE possesses the necessary performance skills in accordance 

with 49 CFR 240.127. This determination should take into account any special operating 

characteristics that are unique to that railroad, e.g., heavy grades, high speed, etc. The 

determination should be kept in the DSLE’s file. 240.105(c). 

Q. 45 - Must the DSLE’s signature be on the certificate, or supplementary documents in the 

engineer’s possession, to indicate which DSLE conducted the previous check ride? 

Answer: No. The regulation only requires the date to be entered on the certificate. However, 

most railroads have provided space for the DSLE’s signature after the check ride date to 

document "who" performed the check ride. 240.223(a)(7). 

Please do not confuse this issue with the requirement that, when issuing certificates, each 

certificate shall be signed by a DSLE or other individual designated by the railroad or the 

certificate will be considered invalid. 240.223(a)(6) and (b). 

Part 240 Questions and Answers Continued